Communications to Firms
Stay current on FINRA’s communications about timely regulatory issues, including Board of Governors meeting updates, the annual examination priorities letter and issues of importance to small firms.
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July 8, 2016 Rulemaking Items for Discussion at the July 2016 Meeting The FINRA Board of Governors will consider the following rulemaking items at its July 2016 meeting. After the meeting, FINRA will notify firms via email about the Board’s action and anticipated next steps, if any. |
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May 6, 2016 Update: FINRA Board of Governors Meeting Rulemaking item discussed at the May Board meeting include: disruptive quoting and trading activities; gifts, gratuities and non-cash compensation; broadening chairperson eligibility in arbitration; motions to dismiss in arbitration; and panel selection in customer cases with three arbitrators. |
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May 6, 2016 May 2016 Board Update |
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March 23, 2016 A Few Minutes with FINRA: Digital Investment Advice Report Dan Sibears, FINRA’s Executive Vice President of Regulatory Operations – Shared Services, expands upon the organization’s March 2016 Digital Investment Advice Report. |
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February 26, 2016 Update: FINRA Board of Governors Meeting Rulemaking item discussed at the February 2016 meeting: fixed income pricing disclosure. |
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February 26, 2016 February 2016 Board Update |
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February 4, 2016 A Few Minutes with FINRA: BrokerCheck Rule 2210 Joe Savage, FINRA Vice President and Counsel – Regulatory Policy, expands upon FINRA Regulatory Notice 15-50, which describes FINRA Rule 2210 requiring firms to include a link to BrokerCheck on their website. He also provides details on several optional BrokerCheck-related tools and resources. |
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January 5, 2016 2016 Regulatory and Examination Priorities Letter Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs. |
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December 15, 2015 Update: FINRA Board of Governors Meeting Rulemaking items discussed at the December meeting include: ATS block data, award offsets in arbitration, qualification and registration, and shortening the settlement cycle. |
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December 15, 2015 December 2015 Board Update |